Claims Salinas defrauded Lute Olsen, others out of $50M; killed self in July
Mueller pleads guilty to ripping off the Hall of Fame quarterback, 64 other clients; 'he's accepting responsibility'
Next Financial Group Inc. has been hit with a significant regulatory action for the third time in three years, with Finra this month levying a $400,000 fine and $102,000 in restitution to clients.
In yet another sign of the move toward regulatory harmonization, the Financial Industry Regulatory Authority Inc. has asked for input on how to create an ADV-like form for broker-dealers.
It's been an ugly, mud-slinging, smackdown of a campaign. The results may not be any prettier — at least, not for advocates of financial reform.
The potential for political upheaval on Capitol Hill following the Nov. 2 election has grabbed the attention of many financial interest groups — and has some preparing to change the targets for their advocacy efforts
Financial advisers here at the Schwab IMPACT conference in Boston today had access to two of the most influential technology minds on the planet: Facebook co-founder Chris Hughes and Twitter co-founder Biz Stone. Two quick hits that stood out.
The U.S. Securities and Exchange Commission is poised to ban brokers from letting clients make unsupervised trades on stock exchanges, as it grows increasingly concerned that a rogue transaction could roil markets
Escalating medical costs and increased expenses associated with the health care reform law are driving double-digit increases in health insurance premiums at many financial advisory firms
Financial advisers are up in arms about the prospect of Finra's taking over the regulation of investment advisers from the SEC — an idea that has been gaining steam in recent months
During the busy fall conference season for financial professionals, virtually every agenda includes coverage of issues associated with regulatory reform and the extension of the fiduciary standard to brokers and dealers who provide advice to retail investors
“I thought Twitter was something Brett Favre uses to pick up women.”
Report recommends shifting investment risk onto employees; 'imperative'
Lack of cost-of-living adjustment for Social Security hits retirees where it hurts, advisers say
The rest of the world is a two week notice world.
Americans must confront a multitrillion-dollar shortfall in savings if they plan to maintain their standard of living during retirement, according to a study released last week.
Congress returned to work this week with a flurry of statements and posturing by political leaders regarding the soon-to-expire Bush administration tax cuts. The maneuvering likely sets the stage for a pre-election battle, rather than a compromise.
